RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
C•••••• H••• E••••
- E•••••• F•••••••• E•••••• independent RIA currentsince Nov 1, 2018 · Colorado Springs, Co
- E•••••• F•••••••• S•••••••• L•• formerJan 8, 2013 to Nov 1, 2018 · Mountain View, Ca
- B•••• formerAug 13, 2007 to Jan 8, 2013 · San Francisco, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Jul 3, 2007 · San Francisco, Ca
- C••••••• I••••••••• S••••••• unclassifiedJun 9, 2004 to May 29, 2007 · San Francisco, Ca
- C••••• S••••• S••••••••• •••• L•• formerJan 17, 2003 to May 26, 2004 · San Francisco, Ca
- P••••••• L•• unclassifiedAug 8, 2002 to Jan 17, 2003 · San Francisco, Ca
- E•••••• F•••••••• S•••••••• L•• to E•••••• F•••••••• E••••••left Nov 1, 2018, registered Nov 1, 2018 (0 days) · corporate re-registration, not a move
- B•••• to E•••••• F•••••••• S•••••••• L••left Jan 8, 2013, registered Jan 8, 2013 (0 days) · Other
- C•••••••• G••••• M•••••• I••• to B••••left Jul 3, 2007, registered Aug 13, 2007 (41 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- C••••• S••••• S••••••••• •••• L•• to C••••••• I••••••••• S•••••••left May 26, 2004, registered Jun 9, 2004 (14 days) · Other
- P••••••• L•• to C••••• S••••• S••••••••• •••• L••left Jan 17, 2003, registered Jan 17, 2003 (0 days) · corporate re-registration, not a move
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address